Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, LOK HIM
Chinese Name of Relevant Individual
陳樂謙
HKMA Registration Number
AJ1229
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2024 - 18 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2023 - 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jan 2023 - 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2023 - 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jan 2023 - 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
06 Jan 2023 - 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
CHAN, LOK HIM
:
Chinese Name of Relevant Individual
陳樂謙
:
HKMA Registration Number
AJ1229
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ1229
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
15 Aug 2024 - 18 Dec 2024
No
AJ1229
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jan 2023 - 08 Aug 2024
No
AJ1229
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
06 Jan 2023 - 08 Aug 2024
No
AJ1229
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
06 Jan 2023 - 08 Aug 2024
No
AJ1229
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
06 Jan 2023 - 08 Aug 2024
No
AJ1229
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
06 Jan 2023 - 08 Aug 2024
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.